Other Information
−Removed: the three months ended March 31, 2024, none of our directors or officers adopted or terminated a “Rule 10b5-1 trading arrangement”
+Added: the three months ended June 30, 2024, none of our directors or officers adopted or terminated a “Rule 10b5-1 trading arrangement”
or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408 of Regulation S-K.
4 unchanged sentences
Form of Amendment to Placement Agent’s Warrants, dated February 13, 2024.
+Added: (incorporated by reference to Exhibit 4.3 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on May 15, 2024).
Form of Warrant to Purchase Shares of Common Stock issued by Celcuity Inc.
1 unchanged sentence
Form of Amendment to Warrants to Purchase Shares of Common Stock, dated February 13, 2024.
+Added: (incorporated by reference to Exhibit 4.5 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on May 15, 2024).
Representative’s Warrant to Purchase Common Stock (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on September 25, 2017).
8 unchanged sentences
in connection with the Securities Purchase Agreement, dated October 18, 2023(incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed with the SEC on October 23, 2023).
−Removed: Amendment to Form of Stock Option Agreement pursuant to Celcuity Inc.
−Removed: Amended and Restated 2017 Stock Incentive Plan..
−Removed: Form of Non-Qualified Stock Option Transfer Agreement pursuant to Celcuity Inc.
−Removed: Amended and Restated 2017 Stock Incentive Plan..
−Removed: Second Amendment to Loan and Security Agreement, dated March 29, 2024 by and among the Company and Innovatus Life Sciences Lending Fund I, L.P.
−Removed: (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on March 29, 2024.
−Removed: Certification of Chairman and Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
−Removed: Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
−Removed: Certification of Chairman and Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
−Removed: Certification of Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
−Removed: statements from the Quarterly Report on Form 10-Q of the Company for the quarter ended March
−Removed: 31, 2024, formatted in Inline XBRL:
−Removed: (i) the Condensed Balance Sheets, (ii) the Condensed
−Removed: Statements of Operations, (iii) the Condensed Statements of Changes in Stockholders’
−Removed: Equity, (iv) the Condensed Statements of Cash Flows, and (v) the Notes to Condensed Financial
+Added: Form of Warrant issued by Celcuity Inc.
+Added: in connection with the Amended and Restated Loan Agreement, dated May 30, 2024 (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed with the SEC on May 30, 2024).
+Added: Amendment to the Celcuity Inc.
+Added: Amended and Restated 2017 Stock Incentive Plan (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed with the SEC on May 13, 2024).
+Added: Amended and Restated Loan and Security Agreement, dated May 30, 2024, by and among Celcuity Inc., Innovatus Life Sciences Lending Fund I, LP, as collateral agent, and the Lenders named therein (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on May 30, 2024) (pursuant to Item 601(b)(2)(ii) of Regulation S-K, certain information contained in this Exhibit 10.1 has been redacted as indicated therein).
+Added: Certification
+Added: of Chairman and Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
+Added: Certification
+Added: of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
+Added: Certification
+Added: of Chairman and Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
+Added: Certification
+Added: of Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
+Added: statements from the Quarterly Report on Form 10-Q of the Company for the quarter ended June 30, 2024, formatted in Inline XBRL:
+Added: the Condensed Balance Sheets, (ii) the Condensed Statements of Operations, (iii) the Condensed Statements of Changes in Stockholders’
+Added: Equity, (iv) the Condensed Statements of Cash Flows, and (v) the Notes to Condensed Financial Statements.
Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
−Removed: Management contract or compensatory plan.
+Added: contract or compensatory plan.
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by
the undersigned thereunto duly authorized.
−Removed: CELCUITY INC.
+Added: August 14, 2024
and Chief Executive Officer
3 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.